Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Lamb (Lamb), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lamb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $519,000.00 on November 07, 2022.
Customers allege that representative recommended investments in a certain note and certain ETFs that were unsuitable for the customers’ investment profile and risk tolerance. Activity period: March 2021 to November 2022.